The Fraud Surveillance team conducts routine reviews and investigations of unusual market activity for evidence of potential fraudulent activity and for possible violations of relevant FINRA rules and the federal securities laws. The Senior Investigator position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision.
Essential Job Functions:
Analyze trading activity for indications of potential fraudulent activity.
Conduct routine reviews and investigations of possible violations of FINRA rules and the federal securities laws.
Conduct telephone interviews of registered and associated persons, public company representatives, investors, and others to develop a sufficient investigative record.
Gather evidence through timely, well-written requests for information from FINRA members, issuers, and other constituents.
Compile and organize information from a variety of sources to be used in the development of investigations of potentially fraudulent activity.
Identify situations in reviews and investigations that may impact the integrity of the U.S. securities markets.
Demonstrate an understanding of the investigative techniques utilized in the area of Fraud Surveillance as well as relevant FINRA rules and the federal securities laws.
Present investigative findings (orally and in writing) to management and other constituents in an organized, concise and timely fashion.
Utilize computer resources and software applications for data and information analysis pursuant to department procedures.
Interface with FINRA members, peers, management and outside parties, and provide excellent internal and external customer service in specialized area of regulatory responsibility.
Work cooperatively with NCFC management to develop, organize and deliver training and staff development programs, as necessary.
Mentor, train, and provide guidance to newly hired or less-experienced staff, as necessary.
Assist management in identifying emerging regulatory issues and trends that warrant FINRA action.
Bachelor's degree from an accredited college or university; law degree or advanced business degree preferred.
A minimum of three years of relevant experience.
Substantive knowledge of relevant FINRA rules and the federal securities laws.
Substantive knowledge of the securities markets and member firm operations and books and records.
Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone interviews.
Demonstrated ability to initiate and complete high-quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
Strong organizational skills with exceptional attention to detail.
Competence using computer programs with the full suite of office software applications.
Work outside of business hours may be required.
Some travel may be required.
To be considered for this position, please submit an application.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.
Search Firm Representatives
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FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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